Broker-Dealer Formation and Continuing Membership Applications

Starting your own broker-dealer firm can be an exciting and potentially lucrative venture. However, obtaining FINRA’s approval is a challenge that should not be undertaken without an attorney’s guidance. Warren Law Group’s legal team has the background and knowledge to ensure your broker-dealer formation runs smoothly and sets you up for a prosperous future.

Our financial services lawyers understand the difficulties and complications that broker-dealers face in all stages of their business, especially when dealing with FINRA. Our attorneys have the expertise to help your firm obtain approval from FINRA without delay by completing the FINRA membership application, establishing compliance controls, and writing supervisory procedures that follow SEC, FINRA, CFTC, U.S. Treasury, and National Futures Association (NFA) guidelines. We can also assist you in acquiring a Continuing Membership Application (CMA) if necessary. A CMA application under FINRA Rule 1017 is required in connection with a merger, acquisition, asset transfer, change of ownership and control, or a material change in business operations.

Additionally, our experienced financial attorneys can help you set up and manage your corporate framework, tax structures, seed investments, and any ongoing capital issues.